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Merrill Lynch, Pierce, Fenner & Smith Incorporated CRD 7691
$1.78T regulatory AUM 16,844 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2025-10-22 |
Branch Locations
3904 Richmond Ave, Houston, TX 77027 • United States
9754 Katy Fwy, Houston, TX 77055 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| J.P. Morgan Securities Llc | San Antonio | TX | 10/2021 | 09/2025 |
| Jpmorgan Chase Bank, N.A. | San Antonio | TX | 10/2021 | 09/2025 |
| Texas Community Bank | Laredo | TX | 06/2018 | 09/2021 |
| Cosmos Bar And Grill | Laredo | TX | 05/2019 | 11/2019 |
| Logans Roadhouse | Laredo | TX | 02/2018 | 02/2019 |
| Unemployed | Laredo | TX | 09/2016 | 08/2017 |
| Unemployed | Laredo | TX | 08/2017 | 02/2018 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Houston | TX | 09/2025 | Present |
| Texas Am International University | Laredo | TX | 08/2013 | 05/2018 |
| Purdue Global | San Antonio | TX | 10/2020 | 07/2023 |
| Bank Of America, N.A. | Houston | TX | 10/2025 | Present |
I*2947271, Entity Type Entity For Profit, Name of OBA: Ark Acquisitions LLCAddress: San AntonioTexas78216 Investment Related: No Position, Title, Association: Owner Employee Start Date: 06/01/2024 No Hours: 8 weekly No Hours during trading: 0 Duties: purchase, wholesale or rehab rental properties, Real estate acquisition
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2023-07-31 |
| S63 | Uniform Securities Agent State Law Examination | 2022-10-21 |
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